Our Staff has compiled our research into a database of FINRA Broker Disclosures for AW Securities. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Michael Horseman | 851636 | 4 | 04/08/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Judith Lynn McDaniel | 706142 | 2 | 04/30/2007 | Customer Dispute | Closed-No Action | $9,807.00 | $0.00 | See FINRA Report |